U.S. Securities and Exchange Commission

U.S. securities market announcements, rulemaking and enforcement updates.

Business & Finance · 20 stories · Latest publication Nov 10, 2026

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U.S. Securities and Exchange Commission · Nov 10, 2026

SEC Announces Enforcement Annual Results for Fiscal Year 2026

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U.S. Securities and Exchange Commission · Nov 4, 2026

SEC Adopts Amendments to Update Definitions of Small Entity for Investment Companies and Investment Advisers

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U.S. Securities and Exchange Commission · Oct 30, 2026

SEC Issues Exemptive Relief from Treasury Clearing Requirements for Certain Inter-Affiliate and Non-U.S. Repo Transactions

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U.S. Securities and Exchange Commission · Oct 29, 2026

Two Entities Charged in $130 Million Fraud Scheme That Used False SEC Filings to Boost Investor Confidence

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U.S. Securities and Exchange Commission · Oct 23, 2026

SEC Announces Fiscal Year 2027 Examination Priorities

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U.S. Securities and Exchange Commission · Oct 20, 2026

SEC and AMF Announce Supervisory MOU To Enhance Cooperation for Investment Advisers and Investment Service Providers

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U.S. Securities and Exchange Commission · Oct 20, 2026

SEC, FSA Hold Autumn Financial Regulatory Dialogue

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U.S. Securities and Exchange Commission · Oct 19, 2026

SEC Announces Roundtable on Machine-Understandable Data in the Age of Super Intelligence

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U.S. Securities and Exchange Commission · Oct 14, 2026

SEC Small Business Advisory Committee to Discuss IPO Modernization and Regulation Crowdfunding

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U.S. Securities and Exchange Commission · Oct 9, 2026

SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds

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U.S. Securities and Exchange Commission · Oct 6, 2026

SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case

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U.S. Securities and Exchange Commission · Oct 6, 2026

SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers

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U.S. Securities and Exchange Commission · Oct 5, 2026

SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week

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U.S. Securities and Exchange Commission · Oct 1, 2026

SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities Laws

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U.S. Securities and Exchange Commission · Oct 1, 2026

SEC’s Division of Examinations Announces New Exam Handbook

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U.S. Securities and Exchange Commission · Sep 30, 2026

SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities

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U.S. Securities and Exchange Commission · Sep 30, 2026

SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans

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U.S. Securities and Exchange Commission · Sep 30, 2026

SEC Proposes Amendments to Expand Responsible Retailization of Private Markets

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U.S. Securities and Exchange Commission · Sep 29, 2026

SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million That Used WhatsApp and Other Platforms to Lure Investors

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U.S. Securities and Exchange Commission · Sep 28, 2026

SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest

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